Issues Facing Compliance Officers

​When speaking with our clients often times they share with us their supervision concerns and challenges. Among them are:

• Advisors with unauthorized social media sites
• Advisors with unapproved or undisclosed outside business activities
• Not knowing what your registered advisors are putting online

Eagle Eye monitors 50,000+ advisors across our customer base and has automatically alerted compliance supervisors on over 1.2M discoveries that warranted reviews over the past 3 years. This is broken down by:
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• 59% unapproved/unknown social media accounts
• 5% unknown/unauthorized outside business activities
• 5% unapproved/unknown websites or blogs
• 31% other

 
Solutions That Eagle Eye Provides.
Eagle Eye uncovers and supervises your advisors’ online footprint. It discovers social media accounts, websites, blogs, OBAs, DBAs, online profiles, events that belong or are about your advisors, allowing you to address issues prior to regulatory discovery or examination.
 
Eagle Eye supports your firm’s adherence to regulatory requirements such as FINRA Rules 3270, 3110, 2210, and 3120 by providing supervision of the internet.
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